Michael J. Robinson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Robinson, who also goes by Michael John Robinson, Michael J Robinson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2024 - December 11, 2024
PRUCO SECURITIES, LLC.
October 4, 2024 - December 11, 2024
PRUCO SECURITIES, LLC.
July 19, 2022 - July 25, 2023
MISSIONSQUARE INVESTMENT SERVICES
July 18, 2022 - July 25, 2023
MISSIONSQUARE RETIREMENT
October 22, 2021 - December 3, 2021
EMPOWER ADVISORY GROUP, LLC
October 22, 2021 - December 3, 2021
EMPOWER FINANCIAL SERVICES, INC.
May 3, 2021 - October 8, 2021
SANTANDER SECURITIES LLC
April 23, 2021 - October 8, 2021
SANTANDER SECURITIES LLC
September 2, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 15, 2013 - August 28, 2014
PRUCO SECURITIES, LLC.
January 3, 2013 - August 28, 2014
PRUCO SECURITIES, LLC.
August 10, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
August 19, 2011 - July 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2011 - July 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - April 19, 2011
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - April 19, 2011
VOYA FINANCIAL ADVISORS, INC.
June 22, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
June 22, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
September 15, 2003 - June 30, 2005
VALIC FINANCIAL ADVISORS, INC.
November 11, 1998 - June 30, 2005
VALIC FINANCIAL ADVISORS, INC.
April 24, 1998 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 4, 1997 - May 5, 1998
IFMG SECURITIES, INC.
January 24, 1996 - August 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
